DFX Intelligence
Reading the graph
Reading the graph
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Advisor at G••••• S•••• I••••••••• A••••••• S•••••••• L••
RED BANK, NJ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| G••••• S•••• I••••••••• A••••••• S•••••••• L•• | Independent wealth | Apr 13, 2023 | n/a | yes | RED BANK, NJ | Current employment |
| S••••• F••••••••• L•• | Bd affiliated wealth | Sep 2, 2022 | Mar 22, 2023 | no | NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• F••••••••• L•• | G••••• S•••• I••••••••• A••••••• S•••••••• L•• | Mar 22, 2023 | Apr 13, 2023 | 22 | Firm change | Ibd to RIA |
| O•••• F•• I••• | S••••• F••••••••• L•• | Sep 14, 2022 | Sep 2, 2022 |
| O•••• F•• I••• | Former SEC adviser | Jan 5, 2022 | Sep 14, 2022 | no | New York, NY|New York, NY|RYE BROOK, NY | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jun 1, 2005 | Aug 25, 2006 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| M••• S••••••••• C••••••••• | n/a | Apr 16, 2001 | Jun 1, 2005 | no | NEW YORK, NY | Previous registration |
| -12 |
| Firm change |
| Ibd to ibd |
| E•••••••• A•••••••• L•• | O•••• F•• I••• | Aug 25, 2006 | Jan 5, 2022 | 5,612 | Firm change after gap | Ibd to ibd |
| M••• S••••••••• C••••••••• | E•••••••• A•••••••• L•• | Jun 1, 2005 | Jun 1, 2005 | 0 | Bulk transfer | Other |